November 10, 2023 (Toronto, Ontario) – The Canadian Investment Regulatory Organization (“CIRO”) commenced disciplinary proceedings in respect of Samantha Cauvier (the “Respondent”) by Notice of Hearing dated June 9, 2023 (the “Notice of Hearing”).
The hearing of this matter on its merits, previously set for November 14, 2023, has been rescheduled to proceed electronically by videoconference before a Hearing Panel of the CIRO Ontario District Hearing Committee on December 12, 2023, commencing at 10:00 a.m. (Eastern). The proceeding will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to participate should contact [email protected] to obtain particulars.
A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent conducted business in Carleton Place, Ontario area.
The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments. For more information, visit www.ciro.ca.
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